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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1109546	Pacific Mercantile Bancorp	PMBC	National Commercial Banks (6021)	330898238

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1427423	Carpenter Community Bancfund-A, L.p.	2 Park Plaza, Suite 550 Irvine CA 92614		No	No	No	Yes
1427461	Carpenter Fund Manager Gp, Llc	2 Park Plaza, Suite 550 Irvine CA 92614		No	No	No	Yes

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2018-09-14	1,467,155	$0.00	5,950,438	No	4	J	Indirect	See footnote
Series A Non-Voting Preferred Stock	Acquisiton	2018-09-14	1,467,155	$0.00	1,467,155	No	4	J	Indirect	See footnote
Series A Non-Voting Preferred Stock	Disposition	2018-09-14	1,467,155	$8.25	0	No	4	S	Indirect	See footnote
Common Stock	Disposition	2018-09-14	2,169,208	$8.25	3,781,230	No	4	S	Indirect	See footnote
Common Stock	Disposition	2018-09-14	3,781,230	$8.25	0	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	See footnote
No	4	J	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

Footnotes

Held directly by Carpenter Community BancFund, LP and Carpenter Community BancFund-A, LP (the "Carpenter Funds") and beneficially owned by Carpenter Fund Manager GP, LLC (the "General Partner") as general partner of the Carpenter Funds. The General Partner disclaims beneficial ownership of the securities, except to the extent that the General Partner has a pecuniary interest, if any, in such funds.
The Issuer entered into an Exchange Agreement with the Carpenter Funds pursuant to which the Carpenter Funds exchanged an aggregate of 1,467,155 shares of the Common Stock, on a one-for-one basis, for 1,467,155 shares of Series A Non-Voting Preferred Stock.
The Carpenter Funds sold 1,467,155 shares of Series A Non-Voting Preferred Stock and 2,169,208 shares of Common Stock to Patriot Financial Partners III, L.P. pursuant to a stock purchase agreement in a privately negotiated transaction.
The Carpenter Funds sold an aggregate of 3,781,230 shares of Common Stock to accredited investors pursuant to separate stock purchase agreements in privately negotiated transactions.